ARK Invest

Q3 2017 13F · by Cathie Wood, CIO

As of: Sep 30, 2017
Filed: Nov 9, 2017
US stock: $819M · prev $514M
Positions: 145 · prev 109
Options notional: $0
Documents: 1· no amendments

Picture90.3% US stock

Full picture · of what this 13F reports is US stock

US stock listed on a US exchange 90.3%
Foreign stock not listed in the US 9.7%
Notes debt, at principal 0.0%
Puts at notional value 0.0%
Calls at notional value 0.0%

Moves147 since the prior filing

+5.5 pp in · −5.4 pp out

New 39 +11.71 pp
Added 95 −6.24 pp
Trimmed 10 −5.12 pp
Exited 3 −0.29 pp

The book

Diversified · behaves like 49 equal-sized positions

Very concentrated
Concentrated
Focused
Diversified

Low turnover · 14% a year, about 7.0 years per position

Low
Moderate
High

Top 5 positions19% of US stock

SSYS Stratasys Inc (ISRAEL) added−1.20 pp added−1.204.4%
AMZN Amazon.Com Inc added−1.36 pp added−1.364.3%
1885807D Athenahealth Inc added−1.62 pp added−1.623.7%
NVDA Nvidia Corp added−0.04 pp added−0.043.5%
unresolved Bitcoin Investment Trust new+3.39 pp new+3.393.4%

Positions145 in this filing · 3 exited


SSYSStratasys Inc (ISRAEL)	4.40%	1,558,269	$36M	added+26%	−1.20 pp	4 q
AMZNAmazon.Com Inc	4.27%	36,424	$35M	added+22%	−1.36 pp	4 q
1885807DAthenahealth Inc	3.70%	244,056	$30M	added+26%	−1.62 pp	4 q
NVDANvidia Corp	3.53%	161,834	$29M	added+28%	−0.04 pp	4 q
unresolvedBitcoin Investment Trust	3.39%	39,603	$28M	new	+3.39 pp	new
TWTRTwitter, Inc.	3.37%	1,635,499	$28M	added+77%	+0.16 pp	4 q
ILMNIllumina Inc	3.07%	126,299	$25M	added+22%	−0.44 pp	4 q
BIDUBaidu, Inc.	2.89%	95,664	$24M	trimmed−7%	−0.69 pp	4 q
unresolvedJuno Therapeutics Inc	2.85%	521,115	$23M	added+4%	−0.06 pp	4 q
TSLATesla, Inc.	2.64%	63,429	$22M	added+68%	−0.02 pp	4 q
unresolvedBluebird Bio Inc	2.26%	134,531	$18M	added+12%	−0.19 pp	4 q
GOOGAlphabet Inc. Class C	2.16%	18,426	$18M	added+16%	−0.64 pp	4 q
NFLXNetFlix Inc	2.10%	94,696	$17M	added+51%	+0.28 pp	4 q
SPLKSplunk Inc	2.05%	252,610	$17M	added+25%	−0.18 pp	4 q
EDITEditas Medicine, Inc.	2.02%	687,870	$17M	added+35%	+0.35 pp	3 q
unresolved2U Inc	1.96%	286,867	$16M	added+23%	−0.18 pp	4 q
PRLBProto Labs, Inc.	1.93%	196,914	$16M	trimmed−5%	−0.79 pp	4 q
HDP1Hortonworks Inc	1.85%	892,638	$15M	added+7%	−0.25 pp	4 q
XLNXXilinx Inc	1.85%	213,702	$15M	added+24%	−0.32 pp	4 q
CRMSalesforce, Inc.	1.82%	159,510	$15M	added+43%	−0.06 pp	4 q
METAMeta Platforms, Inc. Class A	1.81%	86,781	$15M	added+20%	−0.31 pp	4 q
MCRBSeres Therapeutics, Inc.	1.75%	892,922	$14M	added+17%	+0.07 pp	4 q
NVTAInvitae Corporation	1.67%	1,460,938	$14M	added+49%	−0.16 pp	4 q
LCHappen, Inc.	1.61%	2,162,425	$13M	added+53%	+0.09 pp	4 q
TCEHYTencent Hldgs UNSP/	1.59%	297,497	$13M	new	+1.59 pp	new
unresolvedFoundation Medicine	1.53%	311,868	$13M	added+13%	−0.60 pp	4 q
IONSIonis Pharmaceuticals, Inc.	1.53%	247,463	$13M	added+40%	−0.22 pp	4 q
XONEExone CO/THE	1.31%	943,830	$11M	added+35%	−0.24 pp	4 q
BABAAlibaba Group Holding Limited	1.30%	61,568	$11M	added+11%	−0.22 pp	4 q
SFTBYSoftbank Grp UNSP/	1.26%	253,041	$10M	new	+1.26 pp	new
NTDOYNintendo Co Ltd UNSP/	1.18%	209,891	$10M	new	+1.18 pp	new
RHTRed Hat Inc	1.17%	86,514	$10M	added+26%	−0.11 pp	4 q
TREELendingTree, Inc.	1.15%	38,408	$9M	added+11%	−0.01 pp	4 q
XYZBlock, Inc.	1.15%	326,714	$9M	added+13%	−0.17 pp	4 q
NTLAIntellia Therapeutics, Inc	1.13%	372,478	$9M	added×2.1	+0.59 pp	4 q
TERTeradyne, Inc.	1.08%	238,149	$9M	added+38%	+0.07 pp	4 q
AAPLApple Inc.	1.07%	56,764	$9M	added×10.8	+0.92 pp	3 q
PYPLPayPal Holdings, Inc.	1.06%	135,847	$9M	added+14%	−0.18 pp	4 q
TWLOTwilio Inc.	1.05%	287,416	$9M	added+37%	−0.14 pp	4 q
CTRPTrip.com Group Limited	1.02%	158,601	$8M	added+45%	−0.13 pp	4 q
MDSOMedidata Solutions, Inc.	0.99%	104,280	$8M	added+39%	−0.15 pp	4 q
AVAVAeroVironment, Inc.	0.92%	139,142	$8M	trimmed−3%	−0.14 pp	4 q
AKAMAkamai Technologies Inc	0.92%	154,510	$8M	added+52%	−0.06 pp	4 q
CERSCerus Corp	0.89%	2,683,202	$7M	added+60%	+0.07 pp	4 q
MTLSMaterialise NV	0.87%	487,676	$7M	added+81%	+0.25 pp	4 q
RDFNRedfin Corporation	0.82%	266,290	$7M	new	+0.82 pp	new
BBBlackBerry Limited	0.71%	522,359	$6M	new	+0.71 pp	new
unresolvedOrganovo Hldgs Inc	0.71%	2,626,704	$6M	added+82%	−0.03 pp	4 q
MELIMercado Libre, Inc	0.64%	20,209	$5M	added+20%	−0.18 pp	4 q
NSTGQNanoString Technologies, Inc.	0.56%	283,858	$5M	added×2.6	+0.20 pp	4 q
FANUYFanuc Corp UNSP/	0.54%	217,425	$4M	new	+0.54 pp	new
CGENCompugen Ltd	0.53%	1,150,032	$4M	added×2.1	+0.12 pp	4 q
VCYTVeracyte, Inc.	0.52%	488,338	$4M	added×3.0	+0.26 pp	4 q
TMOThermo Fisher Scientific, Inc.	0.44%	18,893	$4M	added+5%	−0.17 pp	4 q
ADSKAutodesk Inc	0.39%	28,688	$3M	added+12%	−0.11 pp	4 q
ALGNAlign Technology Inc	0.32%	14,197	$3M	added+11%	−0.05 pp	4 q
HUBSHubspot, Inc.	0.29%	28,037	$2M	added+50%	+0.05 pp	4 q
RNSHFRenishaw PLC	0.29%	36,940	$2M	new	+0.29 pp	new
unresolvedExa Corp	0.27%	92,997	$2M	added+23%	+0.07 pp	4 q
TRMBTrimble Inc.	0.25%	52,928	$2M	added+9%	−0.09 pp	4 q
FRIIFFrance Mgi Digital Graph	0.25%	32,651	$2M	new	+0.25 pp	new
AKXAnsys Inc	0.24%	16,193	$2M	added+72%	+0.02 pp	4 q
HPQHP Inc.	0.24%	100,077	$2M	added+27%	−0.03 pp	4 q
SYRSSyros Pharmaceuticals Inc	0.24%	134,699	$2M	added×7.6	+0.18 pp	4 q
INTUIntuit Inc	0.23%	13,428	$2M	trimmed−22%	−0.21 pp	2 q
4AMNikon Slm Solutions AG	0.22%	43,261	$2M	new	+0.22 pp	new
2613715DK2M Group Holdings Inc	0.20%	76,006	$2M	added+7%	−0.14 pp	4 q
unresolvedDelphi Automotive PLC	0.19%	15,452	$2M	added+20%	−0.03 pp	4 q
DDD3D Systems Corporation	0.18%	107,960	$1M	added+9%	−0.18 pp	4 q
PIImpinj, Inc.	0.17%	33,965	$1M	added×5.8	+0.11 pp	2 q
unresolvedMazor Robotics Ltd	0.17%	28,135	$1M	added+31%	+0.03 pp	4 q
NOWServicenow, Inc.	0.17%	11,568	$1M	added+50%	+0.01 pp	4 q
DSYDassault Systems	0.17%	13,859	$1M	new	+0.17 pp	new
BIIBBiogen Inc.	0.16%	4,268	$1M	added+45%	0.00 pp	4 q
CSODCornerstone OnDemand, Inc.	0.16%	31,733	$1M	added+22%	−0.02 pp	4 q
DEDeere & Company	0.16%	10,653	$1M	new	+0.16 pp	new
MSFTMicrosoft Corp	0.16%	17,083	$1M	added+12%	−0.05 pp	4 q
PTCPtc, Inc	0.16%	23,286	$1M	added+21%	−0.05 pp	4 q
TMToyota Motor Corporation	0.15%	10,466	$1M	added+53%	+0.01 pp	4 q
BYDDYByd Co Ltd UNSP/	0.14%	59,583	$1M	new	+0.14 pp	new
SHOPShopify Inc. Class A subordinate voting shares	0.14%	9,847	$1M	added×3.5	+0.09 pp	2 q
EXALFExail Technologies	0.14%	46,857	$1M	new	+0.14 pp	new
ADBEAdobe Inc.	0.13%	7,020	$1M	added×3.7	+0.08 pp	4 q
ALNYAlnylam Pharmaceuticals, Inc.	0.13%	9,074	$1M	added+72%	+0.05 pp	4 q
ESLTElbit Systems Ltd	0.13%	7,462	$1M	added+22%	−0.02 pp	4 q
BOXBox, Inc.	0.12%	51,438	$994,000	added+100%	+0.03 pp	4 q
CFMSConformis, Inc.	0.12%	271,209	$955,000	added+41%	−0.04 pp	4 q
REGNRegeneron Pharmaceuticals Inc	0.12%	2,231	$998,000	added+81%	0.00 pp	4 q
MLNXMellanox Technologies Ltd	0.12%	21,045	$992,000	added+50%	0.00 pp	4 q
AGIOAgios Pharmaceuticals, Inc.	0.11%	13,399	$894,000	added+25%	0.00 pp	4 q
FPRXFive Prime Therapeutics, Inc.	0.11%	22,004	$900,000	added+55%	+0.03 pp	4 q
unresolvedInovio Pharmaceuticals Inc	0.11%	143,383	$909,000	added×2.2	+0.01 pp	4 q
PLUGPlug Power Inc.	0.11%	337,457	$881,000	added+74%	+0.03 pp	2 q
FLEXFlex Ltd.	0.11%	54,954	$911,000	added+40%	−0.02 pp	4 q
ALBAlbemarle Corporation	0.10%	5,953	$811,000	trimmed−7%	−0.03 pp	4 q
GMGeneral Motors Company	0.10%	20,517	$828,000	added+22%	−0.01 pp	3 q
INCYIncyte Genomics Inc	0.10%	7,179	$838,000	added+84%	0.00 pp	4 q
JDJD.com, Inc.	0.10%	22,272	$851,000	new	+0.10 pp	new
ROKRockwell Automation, Inc.	0.10%	4,690	$836,000	added+38%	−0.01 pp	4 q
UCTTUltra Clean Holdings, Inc.	0.10%	25,611	$784,000	added+4%	+0.01 pp	4 q
ALNTAllient Inc.	0.09%	29,275	$742,000	added+22%	−0.04 pp	4 q
QCOMQualcomm Inc	0.09%	14,982	$777,000	trimmed−83%	−0.86 pp	4 q
ARNCHowmet Aerospace Inc.	0.08%	24,767	$616,000	added+50%	+0.01 pp	4 q
UPSUnited Parcel Service, Inc. Class B	0.08%	5,468	$657,000	added+48%	0.00 pp	4 q
SMAWFSiemens AG Ord	0.08%	4,505	$634,000	new	+0.08 pp	new
PRWYFProdways Group	0.08%	95,211	$659,000	new	+0.08 pp	new
GRUAGeely Automobile-unspon ADR	0.07%	10,268	$587,000	new	+0.07 pp	new
BDTBertrandt AG	0.07%	5,899	$593,000	new	+0.07 pp	new
unresolvedArrk Corp	0.07%	603,748	$579,000	new	+0.07 pp	new
AMEAmetek, Inc.	0.06%	7,741	$511,000	added+25%	−0.01 pp	4 q
CLLSCellectis S.A.	0.06%	16,334	$465,000	added×4.0	+0.04 pp	3 q
FAROFaro Technologies Inc	0.06%	12,035	$460,000	added+22%	−0.01 pp	4 q
GILDGilead Sciences Inc	0.06%	6,305	$511,000	new	+0.06 pp	new
CRSPCRISPR Therapeutics AG	0.06%	25,555	$457,000	added+98%	+0.02 pp	2 q
unresolvedHexagon AB	0.06%	9,714	$480,000	new	+0.06 pp	new
unresolvedGeneral Electric Co	0.05%	18,081	$437,000	trimmed−49%	−0.14 pp	4 q
JNCEJounce Therapeutics, Inc.	0.05%	28,532	$445,000	added×2.4	+0.02 pp	3 q
BAYRYBayer AG S/	0.04%	10,684	$366,000	new	+0.04 pp	new
CELGCelgene Corp	0.04%	2,479	$361,000	added+55%	0.00 pp	4 q
TDOCTeladoc Health, Inc.	0.04%	10,047	$333,000	new	+0.04 pp	new
unresolvedDowdupont Inc	0.02%	2,105	$146,000	new	+0.02 pp	new
XONPrecigen, Inc.	0.02%	8,908	$169,000	new	+0.02 pp	new
NNDMNano Dimension Ltd.	0.02%	33,309	$171,000	added+22%	−0.01 pp	4 q
PACBPacific Biosciences of California, Inc.	0.02%	34,725	$182,000	new	+0.02 pp	new
ATIATI Inc.	0.01%	2,888	$69,000	added+4%	0.00 pp	4 q
CRSCarpenter Technology Corp	0.01%	1,343	$65,000	added+3%	0.00 pp	4 q
EMNEastman Chemical Company	0.01%	600	$54,000	held	—	4 q
FPLSF5N Plus Inc	0.01%	21,253	$55,000	new	+0.01 pp	new
HXLHexcel Corporation	0.01%	942	$54,000	new	+0.01 pp	new
unresolvedKite Pharma Inc	0.01%	557	$100,000	trimmed−100%	−2.26 pp	4 q
unresolvedPluristem Therapeutics Inc	0.01%	62,773	$95,000	new	+0.01 pp	new
POLAvient Corporation	0.01%	1,330	$53,000	trimmed−0%	0.00 pp	4 q
PXGBXPraxair Inc	0.01%	381	$53,000	trimmed−4%	0.00 pp	4 q
SGLBNextTrip, Inc.	0.01%	44,462	$84,000	added+22%	0.00 pp	3 q
BAYZFBayer A G Ord	0.01%	390	$53,000	new	+0.01 pp	new
ARKAFArkema Ord	0.01%	443	$54,000	new	+0.01 pp	new
unresolvedFenner PLC	0.01%	11,128	$50,000	new	+0.01 pp	new
FANUFFanuc Corporation	0.01%	220	$45,000	new	+0.01 pp	new
NTDOFNintendo Co Ltd Ord	0.01%	171	$63,000	new	+0.01 pp	new
unresolvedSoftBank Group Corp	0.01%	555	$45,000	new	+0.01 pp	new
TRYIFToray Indus Inc Ord	0.01%	5,792	$56,000	new	+0.01 pp	new
unresolvedEvogene Ltd - ADR	0.01%	20,542	$91,000	added+55%	0.00 pp	4 q
DSMKoninklijke Dsm NV	0.01%	693	$57,000	new	+0.01 pp	new
SDVKFSandvik AB	0.01%	3,192	$55,000	new	+0.01 pp	new
KODKEastman Kodak Company	0.00%	5,496	$40,000	added+24%	−0.01 pp	4 q
IBMInternational Business Machines Corporation	—	−4,588	—	exited	−0.14 pp	—
unresolvedOrbital Atk Inc	—	−6,609	—	exited	−0.13 pp	—
unresolvedDu Pont E I De Nemours & Co	—	−1,167	—	exited	−0.02 pp	—

Source

Form: 13F-HR
Reading: 28 defects · 19 unresolved
Accession: 0001144204-17-057433
Options: none in this filing
Notes: none in this filing
SEC cross-check: SEC data set not published yet

A security outside the official 13F list — CUSIP F0392W125 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP F2457H472 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP F4090S113 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP F4606F100 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP F7329W102 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP G33656102 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP G75006117 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP J0198N101 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP J13440102 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP J51699106 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP J75963108 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP J89494116 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP 05606L100 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP 072730302 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP 09173T108 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP 307305102 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP 33833X101 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP 36847Q103 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP 654445303 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP 83404D109 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP 88032Q109 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP D0712D163 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP D1014N107 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP D69671218 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP D6T690109 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP N5017D122 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP W40063104 not on the Official 13(f) List for 2017-09-30
A security outside the official 13F list — CUSIP W74857165 not on the Official 13(f) List for 2017-09-30

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